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Arthur Gordon Chase

Ubs Financial Services Inc.

Mclean, VA

Vienna, VA

Chantilly, VA

CRD 1067029

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2022-10-17
NC RA APPROVED 2013-08-08
TX RA APPROVED_RES 2000-02-25
VA RA APPROVED 1995-05-10
  • MD RA
    APPROVED
    Since 2022-10-17
  • NC RA
    APPROVED
    Since 2013-08-08
  • TX RA
    APPROVED_RES
    Since 2000-02-25
  • VA RA
    APPROVED
    Since 1995-05-10

Branch Locations

1800 Tysons Blvd 5Th Floor, Suite 550, Mclean, VA 22102 • United States

8045 Leesburg Pike, Tower Iii Fairfax Sq@Tyson'S Corner #700, Vienna, VA 22182 • United States

Chantilly, VA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Vienna VA 05/1994 Present
#Ia Painewebber Incorporated Vienna VA 05/1994 Present
Other Businesses

Marian Woods Home Owners Association / , / / / / Member of Board of directors / / / Start Date 1/31/17 /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-02-03
S63 Uniform Securities Agent State Law Examination 1982-10-04
  • S65 Uniform Investment Adviser Law Examination
    1992-02-03
  • S63 Uniform Securities Agent State Law Examination
    1982-10-04

View on SEC IAPD

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